OPNAVINST S 13 May 2014 NAVAL AVIATION SAFETY MANAGEMENT SYSTEM

Transcription

1 NAVAL AVIATION SAFETY MANAGEMENT SYSTEM

2 DEPARTMENT OF THE NAVY OFFICE OF THE CHIEF OF NAVAL OPERATIONS 2000 NAVY PENTAGON WASHINGTON, DC OPNAVINST S N09F OPNAV INSTRUCTION S From: Chief of Naval Operations Subj: NAVAL AVIATION SAFETY MANAGEMENT SYSTEM Ref: (a) DoD Instruction of 6 June 2011 (b) OPNAVINST E (c) OPNAVINST A (d) OPNAVINST U (e) COMNAVAIRFORINST B (f) OPNAVINST D/MCO P5102.1B (g) OPNAVINST C (h) SECNAVINST F (i) DoD R, DoD Freedom of Information Act Program, 4 September Purpose. To issue policies and provisions of the Naval Aviation Safety Management System (SMS). The format, scope and content of this revision differ significantly from the superseded instruction. Changes include compliance with reference (a), the establishment of the SMS, removal of message traffic format and the data collection appendices, which were replaced with data collection in the on-line environment, and clarification of mishap exception rules. This instruction is a complete revision and should be reviewed in its entirety. 2. Cancellation. OPNAVINST R and per appendix N, safety investigation report (SIR) 3750/1 through SIR 3750/ Action. All naval aviation personnel shall familiarize themselves with this instruction and other safety directives applicable to them and their assigned duties. All naval aviation activities shall establish and maintain an aggressive naval aviation SMS, which includes the detection, investigation, and elimination of hazards in naval aviation. As this SMS is a relatively new development, within the naval aviation community, the evolution of concepts, policy changes and the implementation of lessons learned are inevitable. The SMS requires the accomplishment of a formal review and change process.

3 This instruction shall be reviewed on a regular basis by the Naval Safety Center (NAVSAFECEN), controlling custodians, reporting custodians and the Naval School of Aviation Safety. Reviews shall be scheduled as required in the event of major changes or the accumulation of a significant number of minor changes in order to maintain the integrated concept of an SMS. Recommended changes to this instruction are welcome from any source and may be submitted directly to: Commander, Naval Safety Center Attn: Deputy Director, Aviation Safety Programs (Code 10A) 375 A Street Norfolk, Virginia Terms. As used in this directive, the terms below have meanings as follows: a. "Government" means U.S. Federal Government. b. "Naval" means both Navy and Marine Corps. c. "Shall" connotes a mandatory action. d. "Should" connotes standard policy and deviation is discouraged. e. "May" and "need not" connote optional actions. f. "Will" indicates futurity and does not infer required action. 5. Records Management. Records created as a result of this instruction, regardless of media and format, shall be managed per Secretary of the Navy Manual (SECNAV) of January Forms and Reports Control a. The following forms are available for download from Naval Forms OnLine https://navalforms.documentservices.dla.mil/web/public/home and 2

10 CHAPTER 1 GENERAL INFORMATION 101. Purpose. This instruction issues the Naval Aviation SMS. The Commander, Naval Safety Center (COMNAVSAFECEN), who is also Special Assistant to the Chief of Naval Operations (CNO) for Safety Matters (OPNAV N09F), manages the Naval Aviation SMS under the auspices of this instruction. This instruction applies to all military and civilian personnel in every Navy and Marine Corps aviation activity throughout naval aviation and some organizations that are not traditional aviation activities that operate manned aircraft and unmanned aerial vehicle (UAV) and unmanned aircraft systems (UAS). Since safety is an inherent responsibility of command, the Naval Aviation SMS is implemented by, and carried out by all personnel engaged in naval aviation operations throughout the chain of command. General reporting requirements can found in appendix A Program Policy. The purpose of the Naval Aviation SMS is to enhance operational readiness by preserving lives, preventing injury, and protecting equipment and material. The Naval Aviation SMS supports every aspect of naval aviation. Safety practices leverage combat readiness. Fleet personnel will discover naval aviation SMS knowledge and practice may be extended into other areas of Department of the Navy (DON) personnel life. The Naval Aviation SMS may, therefore, yield benefits and preserve resources far beyond its intended scope Objective of the Program. The Naval Aviation SMS succeeds by preventing damage and injury. Potential causes of damage and injury are termed hazards. The goal of the Naval Aviation SMS is to maximize mission effectiveness through the elimination or control of hazards, thus managing risk to an acceptable level and thereby preventing mishaps Scope of the Program a. The Naval Aviation SMS encompasses all activities which detect, contain, or eliminate hazards in naval aviation. These activities include: (1) Manned aircraft and UAV and UAS design, research, development, test, evaluation, procurement, modification, maintenance, servicing, and operations. 1-1

11 (2) Manned aircraft and UAV and UAS support equipment, facilities, supplies, and weapons. (3) Personnel selection, training, education, clothing, and equipment. (4) Advertising the Naval Aviation SMS for training, raising awareness, and rewarding successes. (5) Policies, procedures, instructions, directives, and publications. (6) Reporting, analysis, and process improvement. b. However, to be truly effective, this program must transcend these boundaries and be part of the culture that is naval aviation. An effective safety program requires everyone associated with naval aviation to shun the minimum requirements and adopt an active safety culture constantly renewed by fresh ideas. c. The SMS promotes an integrated, system of systems approach to safety. New requirements, tools, programs or systems should not be introduced into naval aviation or the SMS without thorough analysis. The analysis should determine whether the need is already met by an existing element or elements within naval aviation or the SMS itself, how the new element will be integrated within and support the naval aviation and the SMS, and how the demands of the new element will impact the end users and their ability to accomplish their missions SMS. An SMS is a formal, top-down, professional approach to managing safety risk. It includes systematic procedures, practices and policies for the management of safety. This SMS is comprised of four pillars or components: safety policy, safety risk management (SRM), safety assurance, and safety promotion. Safety policy establishes senior leadership s commitment to continually improve safety and defines the methods, processes, and organizational structure needed to meet safety goals. SRM is comprised of numerous processes and forums for identifying hazards and controlling risk, all of which include one or more steps of the operational risk management (ORM) process or are, in and of themselves, controls. SRM determines the need for, and adequacy of, new or revised risk 1-2

12 controls based on the assessment of acceptable risk. Safety assurance evaluates the continued effectiveness of implemented risk control strategies and supports the identification of new hazards. Safety promotion includes training, communication, and other actions to create a positive safety culture within all levels of naval aviation. Most safety-related programs, processes and resources within naval aviation support more than one pillar of the SMS. Every aviation command is strongly encouraged to use the resources provided by the NAVSAFECEN in compliance with reference (b) to ensure a strong SMS and enhance their safety culture. The Naval Aviation SMS is based on the concept that mishaps are preventable. (Nothing "just happens.") Thus, it should be clear that mishaps can be prevented when their causes are eliminated beforehand. The goal of the SMS is to prevent damage and injury through elimination or control of hazards Safety Policy Pillar a. SMS Policy. Naval Aviation SMS policy and guidance is delineated in this instruction. References (a) through (i) contain additional policy guidance applicable to the Naval Aviation SMS. b. Other Directives. Other directives which support, influence or interact with the Naval Aviation SMS include: (1) NTTP , Navy Search and Rescue Manual, September 2013, requires a rescue report whenever a rescue involving naval rescue personnel, rescue vehicles, ships, or aircraft is attempted. (2) NAVAIR 00-80T-116-Vols 1-4 Technical Manual, Safety Investigation Techniques (NOTAL), helps naval aircraft mishap investigators conduct a thorough and comprehensive investigation. It also contains some guidance for pre-mishap plans. (3) NAVAIR 00-80T-67, Aircraft Safety Engineering Accident Prevention Guide (NOTAL), guides cognizant field activity (CFA) engineering personnel in the performance of field investigations and engineering investigations (EI) at depot level facilities, manufacturing plants, or technical activities. 1-3

13 (4) Reference (c) contains the policy and procedures for selecting the annual winners of the CNO Aviation Safety Awards, the Readiness Through Safety Award, the Admiral James S. Russell Naval Aviation Flight Safety Award, the Admiral Flatley Memorial Award and the Grampaw Pettibone Award. (5) OPNAVINST F3100.6J, Special Incident Reporting (OPREP-3, Navy Blue and Unit SITREP) Procedures (NOTAL), is the guide for OPREP-3 reports which have precedence over all others when an aviation mishap meets the criteria of OPNAVINST F3100.6J. Do not construe this as obviating other reporting requirements. While some preliminary reports required by the Naval Aviation SMS (except the 60-minute telephone report to COMNAVSAFECEN) will temporarily yield precedence to OPREP-3 reporting, submit them as soon as possible thereafter. A command sustaining a mishap is not relieved of the reporting requirements of this instruction when another activity or agency submits the OPREP-3 report for the incident. (6) Marine Corps Order (MCO) C, Aviation Training and Readiness Program, standardizes the aviation training syllabi of the Marine Corps and describes specific requirements for aircrew qualifications. (7) Reference (d) prescribes general flight and operating instructions and procedures for all naval aircraft and related activities. (8) NAVAIR 00-80T-114, Air Traffic Control (ATC) Facilities Manual, describes how to operate and administer Navy and Marine Corps ATC facilities ashore. Sections of it are applicable to: shipboard carrier ATC centers, helicopter direction centers, tactical air control squadrons, and fleet area control and surveillance facilities. It also lists other directives pertinent to operating ATC facilities. (9) OPNAVINST C, Participation in a Military or Civil Aircraft Accident Safety Investigation, is a joint regulation that is common to all Military Services. It provides for military participation in certain National Transportation Safety Board (NTSB) investigations, NTSB or Federal Aviation Administration (FAA) participation in certain military investigations, and the release of certain information related 1-4

14 to military aviation mishap investigations to the NTSB and FAA. The instruction requires notification of an FAA facility when the FAA is involved in Naval Aviation mishaps. (10) OPNAVINST , Management of the Naval Aircraft Inventory, describes procedures for the management of the naval aircraft inventory and serves as a single point of reference for inventory management procedures. (11) Reference (e) describes how to dispose of aircraft logs and records, and submit hazardous material reports (HMR), quality deficiency reports, technical publication deficiency reports, explosive mishap reports, and requests for EIs. Occasionally, reports may be required by both reference (e) and this instruction, such as the explosive mishap report. Caution: Reports and requests submitted under reference (e) are not privileged. Exercise special care to be sure those reports and requests are free of privileged information. More naval aviators read this instruction s hazard reports (HAZREP) than maintenance reports. To reach the widest possible aviator audience, submit a HAZREP. (12) OPNAVINST E, Navy Occupational Safety and Health (NAVOSH) Program for Forces Afloat, tells afloat commands how to administer, organize, and train for the NAVOSH program. Further, it describes hazard control techniques and the safety requirements for the program. (13) COMNAVAIRFORINST , Use of Performance Maintenance Medications (NOTAL), provides standardized guidance and reporting procedures for the use of performance maintenance medications by all aircrew in Naval Air Force U.S. Atlantic Fleet and Naval Air Force U.S. Pacific Fleet squadrons. (14) Reference (f) describes many requirements not included in this instruction. While aviation mishap investigations are not conducted under this instruction, it does require naval aviation activities to submit the accidental injury or death report, the material (property) damage report, the explosive mishap report, the motor vehicle accident report, safety grams, and the report of Navy civilian occupational injuries and illnesses. 1-5

15 (15) SECNAVINST E, Department of the Navy Privacy Act, guides the DON in the implementation of the Privacy Act of It describes how the DON will collect, maintain, and safeguard privacy act information. (16) SECNAVINST D, Department of the Navy Records Management Program, prescribes policies and procedures for the creation, maintenance and disposition of information as records. (17) SECNAVINST E, Military Substance Abuse Prevention and Control, outlines DON policy concerning testing for substance abuse and covers biological testing following naval mishaps. (18) BUMEDINST , Decedent Affairs Manual, is used with current directives concerning casualty reporting, casualty notification, casualty assistance, and burial honors. (19) References (h) and (i) outline the policies and procedures to follow when disclosing naval records. It establishes time limits for responding to requests to inspect or obtain copies of DON records. (20) JAGINST F, Manual of the Judge Advocate General, provides a single, concise source of authoritative information on matters of naval administration under the cognizance of the Judge Advocate General (JAG). It defines the differences between Judge Advocate General Manual (JAGMAN) investigations of aviation mishaps and an aviation mishap safety investigation. The manual also tells what to do if an aviation mishap board (AMB) member becomes the subject of a service of process or subpoena arising from official duties. (21) BUMEDINST F, Aviation Pathology Program, describes the Aviation Pathology Program in the DON. It requires naval medical facilities and the Armed Forces Institute of Pathology to cooperate. It gives general guidance on aviation pathology sample collection, handling, and processing. (22) COMNAVAIRFORINST C, Field Naval Aviator Evaluation Board (FNAEB) Procedures, describes the process used by an administrative board convened to evaluate the performance, 1-6

16 potential, and motivation for continued service of any naval aviator ordered by competent authority to appear before such a board. (23) OPNAVINST A, Naval Aviation Policy for Aircraft Safety Systems Avionics, provides policy on the incorporation and installation of required avionics safety systems in Navy and Marine Corps aircraft. (24) NAVAIRINST A, Research and Engineering Technical Review of Risk Process and Procedures for Processing Grounding Bulletins (NOTAL), establishes policy and provides guidance, and assigns responsibilities for the coordination of engineering technical review of risk and for the formulation of engineering recommendations related to the issuance of bulletins and flight restrictions. c. Policy for Release of Program Information and Release Accountability (1) Release of SMS Information. Absent specific authorization from the CNO, Naval Aviation SMS information shall be released only as specified in these paragraphs. These rules are regulatory orders that apply to all DON personnel without further implementation. A violation of these provisions by military personnel is punishable under the Uniform Code of Military Justice. Disciplinary action against civilian personnel is authorized pursuant to DON Civilian Resources Manual, subchapter 752. (2) Release of Privileged Information About Individuals. Do not maintain privileged information in a system of records from which information may be retrieved using the name of a person or by some number, symbol, or other identifier assigned to a person. Requests for privileged information about an individual shall be sent to COMNAVSAFECEN. (3) Release by an Individual Having Knowledge of SIRs. It is forbidden for anyone with knowledge of the content of a SIR to release that information, except as this instruction permits. Report immediately any request for such information to the NAVSAFECEN (Defense Switched Network (DSN) , extension (Ext) 7226 or commercial (757) , Ext 7226). 1-7

17 (4) Release to Other U.S. Military Services. Safety program information may be shared between U.S. military forces through their respective safety centers. Control all such information in a manner that will prevent the compromise of privileged information. (5) Release to the News Media. Mishap information derived from the initial notification (IN) and subsequent mishap data reports (MDR) may be released to news media pursuant to SECNAVINST C, DON Public Affairs Policy and Regulations. It is imperative that privileged information is always protected when dealing with the press. (6) Release Based on the Privacy Act of Persons desiring information collected in a system of records subject to the Privacy Act shall forward requests to COMNAVSAFECEN, Attention: Staff Attorney. (7) Release Based on Freedom of Information Act (FOIA). Forward any requests for information that either expresses or implies they are based on FOIA to COMNAVSAFECEN, Attention: Staff Attorney. (8) Release to the Congress. Forward requests for information from Congress, its committees, or members to CNO or Commandant of the Marine Corps (CMC), as appropriate. (9) Release to Relatives of Persons Involved in Aviation Mishaps. NAVPERS 15560D, The Navy Military Personnel Manual, or MCO , Marine Corps Casualty Assistance Program, defines how to notify relatives of persons involved in aviation mishaps. Make no reference to causal factors of a mishap. Do not provide classified information. It is forbidden to show, discuss, or give a copy of an aviation SIR to the next of kin or their representative. They may request a copy under FOIA. (10) Subpoenas for Information. Refer any subpoenas for aviation mishap information to the Navy JAG, General Litigation (Code 14), 1322 Patterson Avenue SE, Suite 3000, Washington Navy Yard, DC with a copy to COMNAVSAFECEN, Attention: Staff Attorney. (11) Courts. Commands receiving requests or subpoenas for information from courts, whether Federal, State, courts- 1-8

18 martial, or foreign shall forward the request immediately to COMNAVSAFECEN, Attention: Staff Attorney. All such requests shall be coordinated with CNO or CMC, Office of the Judge Advocate General, Department of Defense (DoD) and Department of Justice, as appropriate. COMNAVSAFECEN is authorized to assert the safety privilege in response to all court requests and orders for privileged safety information per reference (a). (12) Release to North Atlantic Treaty Organization (NATO) Nations. Standardization Agreement (STANAG) 3101 Flight Safety (FS), Dissemination of Aircraft/Missile Accident Information (NOTAL), authorizes COMNAVSAFECEN to exchange sanitized Naval Aviation SMS information with NATO nations operating common types of aircraft and missiles. Reference (a) allows for reciprocal sharing agreements with foreign safety organizations, including for privileged material. Forward any such requests for information to COMNAVSAFECEN, Attention: Deputy Director, Aviation Safety Programs (Code 10A). (13) Release to Foreign Governments. Reference (a) allows for reciprocal sharing agreements with foreign safety organizations including for privileged material. Forward any such requests for information to COMNAVSAFECEN, Attention: Code 10A. (14) Release to Technical Representatives and Contractors. Send any requests for mishap information from technical representatives, manufacturers, and contractors, or their agents, to COMNAVSAFECEN via Commander, Naval Air Systems Command (Safety Director) for endorsement and certification of the legitimacy of such requests. COMNAVSAFECEN will then furnish the information and stipulate that it can be used only for safety purposes and shall not be released further. Reference (a) allows for providing privileged information to DoD Contractors when the contractor in its corporate capacity signs a non-disclosure agreement. Forward any such requests for information to COMNAVSAFECEN, Attention: Code 10A. (15) Release to Navy, Marine Corps, and Other DON Activities. Forward all requests for mishap information from Navy, Marine Corps, and other DON activities to COMNAVSAFECEN Attention: Code 10A. 1-9

19 (16) Release of Privacy Information. Handle the names of individuals not involved in the mishap and the Social Security Numbers of all individuals in the report as directed by the applicable sections of SECNAVINST E. To protect the privacy rights of surviving family members, do not release photographs of human remains included in the aeromedical analysis (AA) or autopsy reports. Send all requests to COMNAVSAFECEN, Attention: Staff Attorney. (17) Unspecified Cases. Forward all requests for information not covered above to COMNAVSAFECEN, Attention: Code 10A Safety Policy Pillar Program Responsibilities a. This paragraph describes the Naval Aviation SMS responsibilities of: COMNAVSAFECEN; Director, Safety Division, Headquarters, U.S. Marine Corps; Chief, Bureau of Medicine and Surgery (BUMED), action agencies for safety investigation mishap report recommendations (MISREC); Naval School of Aviation Safety; commanders of organizations requiring aviation safety officer (ASO) billets; aircraft, UAV or UAS controlling custodians (defined below); commanders of naval and Marine Corps air stations and facilities; Government flight representatives (GFR); aircraft, UAV or UAS reporting custodians (defined below); ASOs; aviation safety specialists; senior member of AMBs; members of AMBs and all naval aviation personnel. Commands may discover they have responsibilities under more than one category. A naval air station (NAS), for example, may have responsibilities as an organization with an ASO billet, as an airfield, and as a reporting custodian. b. COMNAVSAFECEN/OPNAV N09F shall: (1) Advise and assist Deputy Assistant Secretary of the Navy (Safety), CNO and CMC in the formulation, implementation, administration, and monitoring of the Naval Aviation SMS. (2) Coordinate with the Director, Air Warfare Division (OPNAV N98) and Deputy Commandant for Aviation, Headquarters, U.S. Marine Corps on safety related matters that affect naval aviation readiness. 1-10

20 (3) Under exceptional circumstances, waive or change the investigation and reporting requirements of this instruction. (4) Act as the final authority for determining mishaps, mishap classification and mishap exceptions. (5) Conduct final review, evaluation, and classification of all naval aviation SIRs. (6) Analyze and distribute safety information received in reports required by this instruction. (7) Maintain a repository for all reports and related data submitted per this instruction. (8) Administer a system for accountability of naval aviation mishaps and mishap exposure data. (9) Release mishap data as appropriate. (10) Develop standards and publish procedures for aviation mishap investigations. (11) In special cases, initiate and conduct naval aviation mishap investigations under the authority of CNO or CMC. (12) Administer the mishap and hazard recommendation tracking (MISTRAC) program. (13) Liaison with safety organizations in the other Military Services, DoD, Director School of Aviation Safety, Naval Aviation Schools Command, naval aviation commands at all levels, and offices and bureaus within the DON. (14) Research, study, compile and analyze naval aviation safety statistics. (15) Sponsor and attend conferences, symposia, seminars, and ad hoc groups in the furtherance of safety. (16) Sponsor and conduct aviation safety surveys and command cultural workshops. 1-11

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